Search for: "ADVISER DEALER SERVICES, INC."
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2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
18 Apr 2024, 7:37 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
12 Apr 2024, 11:27 am
The SEC charged five broker-dealers, seven dually registered broker-dealers, and four affiliated investment advisers for wide-ranging and persistent deficiencies in maintaining and preserving electronic communications. [read post]
3 Apr 2024, 9:03 pm
A recent conversation with small- and medium-sized advisers brought this point home. [read post]
29 Mar 2024, 4:00 am
It is being funded by Make America Great Again Inc., a super PAC that can raise unlimited amounts of money. [read post]
20 Mar 2024, 2:53 pm
AI washing, whether it’s by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing may violate the securities laws. [read post]
8 Mar 2024, 5:06 am
I have connected with dealers, museum directors, critics and art consultants through social meetings or visits to my studio, galleries and exhibitions. [read post]
15 Feb 2024, 9:22 am
Within the art market are various critical participants such as dealers, agents, advisors, and principals. [read post]
9 Feb 2024, 8:59 am
The Securities and Exchange Commission has issued charges and fines against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. [read post]
26 Jan 2024, 1:40 pm
Voya and the unregistered entity had a Variable Marketing Agreement for services related to VUL sales. [read post]
10 Jan 2024, 9:01 pm
This includes, for example, Regulation Best Interest when broker-dealers recommend ETPs to retail investors, as well as a fiduciary duty under the Investment Advisers Act for investment advisers. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
27 Nov 2023, 7:44 am
His previous employers included Oriental Financial Services Corp. [read post]
15 Nov 2023, 6:26 am
The SEC settled charges against registered investment adviser D. [read post]
14 Nov 2023, 9:01 pm
Goldman admitted the findings in the SEC’s order and paid a $6 million civil penalty to resolve the SEC’s charges; The SEC charged broker-dealer Citadel Securities LLC with violating a provision of Regulation SHO that requires broker-dealers to mark sale orders as long, short, or short exempt. [read post]
10 Nov 2023, 9:32 am
Premier Dealer Services, Inc. (2013 IL App (1st) 120327) Fifield v. [read post]
9 Nov 2023, 9:01 pm
These areas are: (1) the scope of the definition of a dealer under the Securities Exchange Act of 1934; (2) cryptocurrencies; and (3) off-channel communications by broker-dealers. [read post]
6 Nov 2023, 11:00 am
According to this FINRA BrokerCheck report, Jason Jodway was affiliated with the following firms during his career, among others: 11/08/2019 – 12/13/2019, ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272), WATERFORD, MI, B, 09/14/2016 – 12/01/2017, SECURIAN FINANCIAL SERVICES, INC. [read post]
3 Nov 2023, 11:39 am
is Associate Counsel of NFS Leasing, Inc., where he is responsible for managing NFS leasing’s litigation. [read post]
